0001227025-21-000250.txt : 20211117 0001227025-21-000250.hdr.sgml : 20211117 20211117165143 ACCESSION NUMBER: 0001227025-21-000250 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211115 FILED AS OF DATE: 20211117 DATE AS OF CHANGE: 20211117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jenks Timothy Storrs CENTRAL INDEX KEY: 0001488795 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35061 FILM NUMBER: 211421197 MAIL ADDRESS: STREET 1: 2911 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEOPHOTONICS CORP CENTRAL INDEX KEY: 0001227025 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943253730 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3081 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4082329200 MAIL ADDRESS: STREET 1: 3081 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2021-11-15 0 0001227025 NEOPHOTONICS CORP NPTN 0001488795 Jenks Timothy Storrs 3081 ZANKER RD SAN JOSE CA 95134 1 1 0 0 CEO Common Stock 2021-11-15 4 M 0 12393 8.07 A 461517 D Common Stock 2021-11-15 4 M 0 8149 12.27 A 469666 D Common Stock 2021-11-15 4 M 0 26349 7.59 A 496015 D Common Stock 2021-11-15 4 M 0 51245 3.3 A 547260 D Common Stock 3076 I As Trustee Common Stock 3200 I Trustee-Family Trust Common Stock 3798 I by Trust Incentive Stock Option (right to buy) 3.3 2021-11-15 4 M 0 51245 0.0 D 2024-10-07 Common Stock 51245 0 D Incentive Stock Option (right to buy) 7.59 2021-11-15 4 M 0 26349 0.0 D 2025-10-26 Common Stock 26349 0 D Incentive Stock Option (right to buy) 8.07 2021-11-15 4 M 0 12393 0.0 D 2027-07-31 Common Stock 12393 0 D Incentive Stock Option (right to buy) 12.27 2021-11-15 4 M 0 8149 0.0 D 2026-08-01 Common Stock 8149 0 D Represents a cash exercise. Represents shares held by Timothy S. Jenks and Atsuko K. Jenks Declaration of Trust dated January 7, 1996. 50% of the Option Shares shall vest on the one-year anniversary of the Vesting Commencement Date, and the remaining will vest quarterly over the next year, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries. 50% of the Shares shall vest on the 18-month anniversary of the Vesting Commencement Date, 25% vest on the next 12-month anniversary of the Vesting Commencement Date, and the remaining 25% will vest on the next 6-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries. The shares vest in three equal annual installments, so long as the person remains an employee of or consultant to the Company or its qualifying subsidiaries. 30% of the Shares shall vest on the first 12-month anniversary of the Vesting Commencement Date, 30% vest on the second 12-month anniversary of the Vesting Commencement Date, and the remaining 40% will vest on the third 12-month anniversary of the vesting Commencement Date, so long as the optionee remains an employee of or consultant to the Company or its qualifying subsidiaries. By: /s/ Barbara Rogan, Attorney-in-fact For: Timothy S. Jenks 2021-11-16